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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-01-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stevens Creek Toyota | San Jose | CA | 01/2018 | 05/2018 |
| United Imports | San Jose | CA | 08/2018 | 03/2020 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 05/2021 | 09/2021 |
| Northwestern Mutual Investment Services Llc | Campbell | CA | 04/2021 | 09/2021 |
| Steven Creek Subaru | San Jose | CA | 03/2018 | 05/2018 |
| Toyota Sunnyvale Price Simms | Sunnyvale | CA | 05/2017 | 01/2018 |
| Capitol Toyota | San Jose | CA | 02/2017 | 05/2017 |
| Stevens Creek Mercedes-Autonation | San Jose | CA | 06/2016 | 12/2016 |
| Jpmorgan Chase Bank, N.A. | San Jose | CA | 10/2021 | 04/2023 |
| J.P. Morgan Securities Llc | San Jose | CA | 10/2021 | 04/2023 |
| Unemployed | Campbell | CA | 01/2017 | 01/2017 |
| Unemployed | Campbell | CA | 06/2018 | 07/2018 |
| Unemployed | Campbell | CA | 04/2020 | 03/2021 |
| Fidelity Investments | Campbell | CA | 04/2023 | 07/2024 |
| Lpl Financial Llc | Campbell | CA | 07/2024 | 05/2025 |
| Bmo Harris Bank | Campbell | CA | 07/2024 | 05/2025 |
| Charles Schwab & Co., Inc. | Milpitas | CA | 05/2025 | 09/2025 |
| Charles Schwab Bank, Ssb | Milpitas | CA | 05/2025 | 09/2025 |
| Bmo Harris Bank | Campbell | CA | 12/2025 | Present |
| Lpl Financial Llc | Campbell | CA | 12/2025 | Present |
| Unemployed | Campbell | CA | 09/2025 | 12/2025 |
1- 12/2025 / Steve Fang / Notary / Notary / Investment Related / 160 hrs mth / 130 hrs during trading / Start date: 02/12/2024 2- 12/2025 / BMO HARRIS BANK / Financial Institution Duty / Investment Related / 160 hrs mth / 130 hrs during trading / Start date: 01/02/2026 3- 12/2025 / Investment products and services are offered through LPL Financial LLC using the DBA/trade name BMO Investment Services / Investment Related / 160 hrs mth / 130 hrs during trading / Start date: 01/02/2025
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-07-30 |
| S63 | Uniform Securities Agent State Law Examination | 2022-01-24 |
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